Contravention Order re Citicorp Trinidad and Tobago Ltd

In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Citicorp Merchant Bank Limited WHEREAS Citicorp Merchant Bank Limited (“the Respondent”) failed to file its Interim Financial Statements for the period ended June 30, 2017 with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) on or …

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Contravention Order re Citibank Trinidad and Tobago Ltd

In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Citibank Trinidad and Tobago Limited WHEREAS Citibank Trinidad and Tobago Limited (“the Respondent”) failed to file its Interim Financial Statements for the period ended June 30, 2017 with the Trinidad and Tobago Securities and Exchange Commission (“the …

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Contravention Order re Bourse Securities Ltd

In The Matter of the Contravention of By-Law 40(2) of the Securities (General) By-Laws, 2015 by Bourse Securities Limited WHEREAS Bourse Securities Limited (“the Respondent”) failed to file its Half Yearly Interim Financial Statements for the period ended June 30, 2017 with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) on …

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Contravention Order re Bourse Brokers Ltd

In The Matter of the Contravention of By-Law 40(2) of the Securities (General) By-Laws, 2015 by Bourse Brokers Limited WHEREAS Bourse Brokers Limited (“the Respondent”) failed to file its Half Yearly Interim Financial Statements for the period ended June 30, 2017 with the Trinidad and Tobago Securities and Exchange Commission (“the …

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Contravention Order re Guardian Asset Management & Investment Service s Limited – Filing

In The Matter of the Contravention of By-law 67(1) of the Securities (General) By-Laws, 2015 by Guardian Asset Management and Investment Services Limited WHEREAS Guardian Asset Management and Investment Services Limited (“the Respondent”) failed to file its Conflict Of Interest Rules Statement with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) …

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